Certificate in Financial Regulatory Compliance

Certificate Level: Graduate
Admission Requirements: Bachelor's degree
Certificate Type: Post-Baccalaureate
Number of Credits to Completion: 18.0
Instructional Delivery: Online
Calendar Type: Semester
Expected Time to Completion: 2.5 years
Financial Aid Eligibility: Not aid eligible
Classification of Instructional Program (CIP) Code: 22.0205
Standard Occupational Classification (SOC) Code: 33-1011

The certificate in financial regulation compliance is a post-baccalaureate, non-degree program designed for individuals to develop and improve career-related skills in the focused area of financial services compliance. The program includes a core of legal compliance and risk assessment classes and in-depth study of crucial issues in financial services regulation. Ideal candidates include individuals working in the financial services industry in mutual funds, brokerage firms, banks and other financial institutions, who would benefit from focused legal knowledge regarding financial regulations compliance, as well as individuals seeking career changes into these fields.

Admission Requirements

  • A completed application
  • Official transcripts from all universities or colleges and other post-secondary educational institutions (including trade schools) attended
  • Resume
  • Additional requirements for international students

Program Requirements

LAW 700SBusiness Organizations3.0
LSTU 501SCompliance Skills: Auditing, Investigation & Reporting3.0
LSTU 507SRisk Assessment and Management3.0
Choose three from the list below:9.0
LAW 734SLegal Regulation of Investment Advisers3.0
LAW 735SLegal Regulation of Investment Companies3.0
LAW 736SBroker/Dealer Regulation3.0
LAW 737SBanking Law3.0
Total Credits30.0

Sample Plan of Study

First Year (Part-Time)
FallCredits
LSTU 501SCompliance Skills: Auditing, Investigation & Reporting3.0
LAW 700SBusiness Organizations3.0
 Term Credits6.0
Spring
LSTU 507SRisk Assessment and Management3.0
LAW 735SLegal Regulation of Investment Companies3.0
 Term Credits6.0
Second Year (Part-Time)
Fall
LAW 736SBroker/Dealer Regulation3.0
LAW 734SLegal Regulation of Investment Advisers3.0
 Term Credits6.0
Total Credit: 18.0
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